EXAMPLE January 7, 2010

Railroad Name

PTC Implementation Plan

(PTCIP)

TEMPLATE ONLY

“Date”

Submitted in fulfillment of 49 CFR Part 236, Subpart I, § 236.1011
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REVISION HISTORY

Date Revision Description Author
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EXAMPLE January 7, 2010

Table of Contents

1 Introduction .........................................................................................................................................................1

1.1 OVERVIEW ........................................................................................................................................................1

1.1.1 Organizational Relationships................................................................................................................1

1.1.2 Request for Amendment of a PTCIP [§ 236.1009(a)(2)(ii)]................................................................1

1.2 GOALS AND OBJECTIVES..................................................................................................................................1

1.3 SUCCESS CRITERIA...........................................................................................................................................2

1.4 APPLICABILITY.................................................................................................................................................2

1.5 DOCUMENT OVERVIEW....................................................................................................................................2

1.6 ACRONYMS AND DEFINITIONS .........................................................................................................................3

2 Applicable Documents........................................................................................................................................6

3 Technology [§ 236.1011(a)(1)]............................................................................................................................7

4 Compliance [§ 236.1011(a)(2)] ...........................................................................................................................8

5 Interoperability [§ 236.1011(a)(3)].....................................................................................................................9

5.1 RAILROAD AGREEMENT PROVISIONS RELEVANT TO INTEROPERABILITY [§ 236.1011(A)(3)(I)] .................9

5.2 TECHNOLOGY APPLICABLE TO INTEROPERABILITY [§ 236.1011(A)(3)(II)]...................................................9

5.3 OBSTACLES TO INTEROPERABILITY [§ 236.1011(A)(3)(III)]...........................................................................9

6 Installation Risk Analysis [§ 236.1011(a)(4)]..................................................................................................11

7 Deployment Sequence and Schedule [§ 236.1011(a)(5)].................................................................................13

7.1 SEGMENT TRAFFIC CHARACTERISTICS [§ 236.1011(A)(5)(I)]......................................................................13

7.2 SEGMENT OPERATIONAL CHARACTERISTICS [§ 236.1011(A)(5)(II)] ...........................................................13

7.3 ROUTE ATTRIBUTES [§ 236.1011(A)(5)(III)]..................................................................................................13

8 Rolling Stock [§ 236.1011(a)(6)].......................................................................................................................14

8.1 ROLLING STOCK TO BE EQUIPPED [§ 236.1011(A)(6)(I)]..............................................................................14

8.2 SCHEDULE [§ 236.1011(A)(6)(II)]...................................................................................................................14

8.3 TENANT RAILROADS [§ 236.1011(A)(6)(III)(A) AND (B)] ..............................................................................14

9 Wayside Devices [§ 236.1011(a)(7)] .................................................................................................................15

10 Designating Track as Main Line or Non-Main Line [§ 236.1011(a)(8)].......................................................16

11 Exceptions to Risk-Based Pr ioritization [§ 236.1011(a)(9)]...........................................................................17

12 Strategy For Full PTC System Deployment [§ 236.1011(b)] .........................................................................18

13 Main Line Track Exclusion Addendum [§ 236.1019] ....................................................................................19

14 Appendices.........................................................................................................................................................20

PART NUMBERS BASED ON NPRM

FINAL PART NUMBERS MAY CHANGE IN FINAL RULE
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EXAMPLE January 7, 2010

1.1 Overview

This section shall provide an overview of the submitting railroad’s plan for implementation of 

PTC in accordance with the mandate of the RSIA 08, and the requirements of the anticipated 

final rule primarily consisting of 49 CFR Part 236, Subpart I. The plan shall identify, as a 

minimum: (a) how, where, and in what sequential order the PTC system(s) will be deployed; (b) 

how the system(s) will provide the statutory functionality; (c) whether the PTC system(s) are 

defined for safety as non-vital, vital, stand-alone, or mixed per the Part 236 Subpart I criteria; 

and, (d) all main line track segments, the method of operation and the maximum authorized 

speed(s) for each, any MTEA, any RFA, the installation risk prioritization methodology used, 

and any other federally required information.

1.1.1 Organizational Relationships

This subsection is to outline the management organizational structure of the project. It shall 

briefly describe the responsibilities of all entities involved in the implementation as well as the 

administrative and managerial boundaries of: the railroad’s organization, the subcontracted 

organizations, the quality assurance organization, or any other organizational entity interfacing 

with the project. Graphical devices such as hierarchical organization charts or matrix diagrams 

may be used to depict the lines of authority, responsibility, and lines of communications within 

the project. This subsection is intended to define the railroad’s project management approach 

and will summarize the railroad’s strategy for deployment of PTC.

1.1.2 Request for Amendment of a PTCIP [§ 236.1009(a)(2)(ii)]

This subsection shall describe how the railroad will make and file a Request For Amendment 

(RFA) of its PTCIP in accordance with § 236.1021. It shall include a description of the 

railroad’s review and approval process for generating amendments to the PTCIP, how 

amendments to the PTCIP will be submitted to the FRA for approval, and how distribution, 

version control, and configuration management requirements will be met by the railroad for PTC 

safety documentation. It shall also include when and how the railroad will identify and provide 

to FRA any routing changes affecting the annual MGT or PIH traffic levels which would result 

in a revision to where PTC shall be implemented.

1.2 Goals and Objectives

This section shall describe the overall goals and objectives of the railroad for PTC deployment. 

Some examples of goals would be to comply with regulatory requirements, achieve deployment 

milestones and timelines, and maintain PTC system reliability and availability. 

Objectives shall address the following areas, as a minimum:

• Performance (for example a PTC deployment shall meet the PTC System Certification 

performance requirements in § 236.1015)

• Quality

• Technical

1 Introduction
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EXAMPLE January 7, 2010

• Coverage (for example 82% of the railroad’s 30,000 total route miles will be covered. Of 

that 24,600 route miles, 9,800 route miles includes passenger operations, and 18,800 

route miles contain PIH traffic, etc.)

1.3 Success Criteria

This section shall describe how the railroad will measure success for both the long term goals of 

implementation, as well as intermediate goals. The metrics to be applied by the railroad to 

monitor progress against the plan stated in the PTCIP shall be identified and described. Methods 

for communicating the status of the goals and metrics internally and to the FRA should be 

described. . Specific consideration should be given for the criteria that will be used to declare 

when a division/subdivision will be declared fully operational; (For example, a subdivision will 

be considered cutover when all wayside equipment is installed and operational and 95% of the 

crews have completed required familiarization and PTC qualification); the status of system 

implementation (For example in 2012 40% of the xx subdivisions will be cutover for PTC 

operations, in 2013 80% of the xx subdivisions will be cutover); and system use for subdivisions 

that have been cutover (For example in 2011 40% of the traffic on subdivision X will operate 

equip, in 2013 75% will operate equipped, in 2015 98% will operate equipped.)

1.4 Applicability

This section shall provide the pertinent information for the railroad’s rail network for the purpose 

of PTC implementation for which this PTCIP applies, and written explanation shall be 

accompanied by applicable mapping depicting the information (e.g., shape files). This section 

shall identify the following for all uniquely designated track segments: all main line tracks; 

annual traffic densities (freight in mgt and passenger in trains per day); annual PIH traffic (loads 

and residue); and, expected mandated PTC lines. The base line densities shall be for CY 2008, 

and shall be accompanied by any known or expected variances for CY 2009 and beyond, with 

explanation/justification for the variance. Any track segments where PTC systems are, or will be 

deployed, which are not required under Part 236 Subpart I, will also be clearly identified.

1.5 Document Overview

This section shall provide an overview of the organization of the PTCIP, which each railroad 

must develop and submit before implementing a PTC system as required by 49 U.S.C. § 20157 

and § 236.1005.

• Section 1 shall describe the general objectives, applicability, and scope of the 

document.

• Section 2 shall list applicable documents that are referenced in this PTCIP.

• Section 3 shall describe the functional requirements that the proposed system must 

meet as required by § 236.1011(a)(1).

• Section 4 shall describe how the railroad intends to comply with § 236.1009(c) as 

required by § 236.1011(a)(2).

• Section 5 shall define how the railroad will provide for interoperability between the 

host and all tenant railroads as required by § 236.1011(a)(3).
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EXAMPLE January 7, 2010

• Section 6 shall describe how the PTC system will be implemented to address areas of 

greater risk to the public and railroad employees before areas of lesser risk, by 

evaluating multiple risk factors, as required by § 236.1011(a)(4).

• Section 7 shall define the sequence, schedule, and decision basis for the line segments 

to be equipped, including the risk factors by line segment, as required by §

236.1011(a)(5).

• Section 8 shall identify the rolling stock that will be equipped with the PTC technology, 

as required by § 236.1011(a)(6) and define a schedule for same.

• Section 9 shall identify the number of wayside devices required for each line segment 

and the schedule to complete the installations by December 31, 2015, as required by §

236.1011(a)(7).

• Section 10 shall identify which track segments the railroad designates as main line and 

non-main line track, as required by § 236.1011(a)(8).

• Section 11 shall identify and describe the railroad’s basis for determining that the risk- based prioritization in Section 6 above is not practical as required by § 236.1011(a)(9).

• Section 12 shall contain the Main Line Track Exclusion Addendum (MTEA) as defined 

by § 236.1019.

• Section 13, required for Class I railroads and as an option for others, shall contain the 

strategy for full system-wide deployment of PTC systems beyond those line segments 

required to be equipped under 49 CFR Part 236, Subpart I, including the criteria that 

will be applied in identifying those additional lines. 

• Section 14 shall include any Appendices, either directly or by reference, that provide 

supporting details that could aid in the understanding of the PTCIP.

Note: A PTCIP must be preceded or accompanied by either a Notice of Product Intent (NPI), a 

PTC Development Plan (PTCDP), or an existing Type Approval, and may be accompanied by an 

RFA, either previously or simultaneously filed in accordance with § 236.1021, and an MTEA in 

accordance with § 236.1019. 

1.6 Acronyms and Definitions

This section shall include definitions of all terms, abbreviations, and acronyms required to 

properly interpret the Implementation Plan.

The following is a list of some abbreviations and acronyms that may be used in the PTCIP:

Acronym

CFR

Meaning

Code of Federal Regulation

FRA Federal Railroad Administration

MTEA Main Line Track Exclusion Addendum

NPI Notice of Product Intent

PIH Poison by Inhalation Hazard

PTC Positive Train Control
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EXAMPLE January 7, 2010

PTCDP Positive Train Control Development Plan

PTCIP Positive Train Control Implementation Plan

PTCSP Positive Train Control Safety Plan

RFA Request For Amendment

TIH Toxic Inhalation Hazard

U.S.C. United States Code

The following is a list of definitions of terms that may be used in the PTCIP:

Class I railroad A railroad which in the last year for which revenues were reported 

exceeded the threshold established under regulations of the Surface 

Transportation Board (49 CFR part 1201.1-1 (2008)).

Host railroad A railroad that has effective operating control over a segment of 

track.

Interoperability The ability of a controlling locomotive to communicate with and 

respond to the PTC railroad’s positive train control system, 

including uninterrupted movements over property boundaries.

Main line Except as excepted pursuant to § 236.1019 or where all trains are 

limited to restricted speed, a segment or route of railroad tracks, 

including controlled sidings:

(1) of a Class I railroad, as documented in current timetables 

filed by the Class I railroad with the FRA under § 217.7, 

over which 5,000,000 or more gross tons of railroad traffic is 

transported annually, as reported on the traffic density map 

required to be filed with the Surface Transportation Board 

pursuant to § XXX.XX; or 

(2) used for regularly scheduled intercity or commuter passenger 

service, as defined in 49 U.S.C. § 24102, or both.

Main Line Track 

Exclusion 

Addendum

The document further described in § 236.1019.

NPI Notice of Product Intent as further described in § 236.1013.

PTC Positive Train Control as further described in § 236.1005.

PTCDP PTC Development Plan as further described in § 236.1013.

PTCIP PTC Implementation Plan as required under 49 U.S.C. § 20157 and 

further described in § 236.1011.

PTC railroad Each Class I railroad and each entity providing regularly scheduled 

intercity or commuter rail passenger transportation required to 

implement and operate a PTC system.

PTCSP PTC Safety Plan as further described in § 236.1015

PTC System 

Certification

Certification as required under 49 U.S.C. § 20157 and further 

described in §§ 236.1009 and 236.1015.

Request For 

Amendment

A request for an amendment of a plan or system made by a PTC 

railroad in accordance with § 236.1021.

Segment of track Any part of the railroad where a train operates.

Tenant railroad A railroad, other than a host railroad, operating on track upon which 
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EXAMPLE January 7, 2010

a PTC system is required.

Track segment Segment of track
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This section shall provide a complete list of all the documents and other sources referenced in the 

PTC Implementation Plan.

A. Part 236 Subpart I – Final Rule, TBD

B. Part 236 Subpart H, March 5, 2005.

C. The Railroad’s Notice of Product Intent

D. The Railroad’s PTC Development Plan

E. Type Approval granted by FRA for <vendor/system name> PTC system (if applicable)

F. Main Line Track Exclusion Addendum

G. Request For Amendment

H. Other

Note: For dated references, only the edition cited applies. For undated references, the latest

edition of the reference document applies, including amendments.

2 Applicable Documents
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EXAMPLE January 7, 2010

This section shall provide a minimal description of the PTC system technology being deployed 

and shall reference a previous or concurrent submission of a Notice of Product Intent, PTC 

Development Plan (PTCDP), PTC Type Approval, or PTC Safety Plan (PTCSP) that contains a 

more detailed description (see § 236.1009).

Where reference is made to a previously submitted NPI, or an NPI is included, the NPI shall 

contain the information prescribed within § 236.1013(e). Where reference is made to a PTCDP, 

Type Approval, and/or PTCSP, or same is included, each respective document shall contain the 

information prescribed within its applicable rule section.

This section shall summarize the technology by containing the following:

a) Identification of the architecture of the PTC system(s) being deployed.

b) High level description of the functionality of the PTC system, subsystems, and interfaces, 

both internal to the PTC system and external to other systems such as signaling and CAD 

systems.

c) A basic physical layout and location of PTC equipment onboard locomotives, at wayside 

locations, at network interfaces, and at a central office or offices.

Note: When the PTCIP is filed with an NPI, a complete PTCDP and updated PTCIP must be 

submitted not later than 9 months after the date of FRA’S provisional approval of the PTCIP. 

Failure to submit the required PTCDP within 9 months will result in automatic disapproval of the 

PTCIP and possible civil penalties.

3 Technology [§ 236.1011(a)(1)]
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EXAMPLE January 7, 2010

This section shall describe how the railroad intends to comply with § 236.1009(c), which 

requires the railroad to apply for and receive PTC System Certification from the Federal Railroad 

Administration (FRA). A PTC System Certification must be received before deploying a PTC 

system(s) in revenue service on a railroad.

It will describe any identified or potential risks or other items that could create or suggest 

increased difficulty in the successful completion and delivery of the PTC system installation on 

or prior to the required date. It is also to identify any contingency plans that may have been 

formulated to deal with the risks. Risks are created when assumptions are not met. As you 

identify risks, you must also identify the consequences associated with those risks.

The railroad’s description of the process planned for achieving FRA Certification will contain 

the following elements, as a minimum:

a. How the railroad will utilize any existing Type Approvals and/or PTCDP that apply to 

the specific PTC system(s) being installed?

b. Certify the validity of the Type Approval previously granted by FRA (see § 236.1013(c))

c. How the railroad will handle its own PTCDP and/or Type Approval process for the 

unique aspects (the variances) of the specific PTC system(s) to be installed by the 

railroad, if any?

d. What deliverables will be supplied by the railroad to the FRA to support a petition for 

Certification of the PTC system(s)?

e. If The PTCIP is filed with an NPI, how the railroad will address completion of the 

PTCDP and refiling of the PTCIP and submission of the PTCDP?

4 Compliance [§ 236.1011(a)(2)]
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EXAMPLE January 7, 2010

This section shall describe how the PTC system will provide for interoperability between the 

host and all tenant railroads on the lines required to be equipped with a PTC system per Part 236 

Subpart I.

5.1 Railroad Agreement Provisions Relevant to Interoperability [§ 236.1011(a)(3)(i)]

This section shall include identification and description of all relevant provisions to any 

agreements executed by all applicable railroads which are in place in order to achieve 

interoperability. The technical details of the agreements are of interest to the FRA, not the 

commercial relationships.

This section must clearly describe the degree of interoperability that will be obtained, the extent 

to which the railroad has coordinated its plan with the other railroads with whom they 

interoperate, the specific service requirements that the technology must meet, the proposed 

technology to be used to obtain interoperability, and its current state of development and 

availability. This section must also provide a list of the interoperable systems. 

For the purposes of the interoperation analysis, the analysis must address notions of purpose (the 

goal for the interoperation) and context (the environment in which the entities exist). To 

interoperate one system must provide a service that is used by another. This cannot be achieved 

without, at a minimum, communication from the provider to the consumer of the service. 

Interoperability relationships necessarily involve communication. Any discussion of 

interoperability must therefore address the atomicity of interoperability relationships, the degree 

of coupling (“tightly coupled,” or loosely coupled), as well as means the system’s capabilities 

provide for such communications (e.g., an agreement to share a common protocol or request 

broker that relays messages between systems).

5.2 Technology Applicable to Interoperability [§ 236.1011(a)(3)(ii)]

This section shall describe all the technologies used to achieve interoperability. Each railroad 

must address how they obtain technical, semantic, and organizational interoperability to enable 

PTC systems to enhance, rather than obstruct, the ability of multiple railroads to work together 

safely. Technical interoperability includes interfaces, standards, and data to be commonly used. 

Semantic interoperability describes how the meaning of exchanged information is understood by 

applications and services. Organizational interoperability is about the collaboration of 

organizations (companies and administrations) that wish to exchange information and to 

cooperate despite having different internal structures and processes.

5.3 Obstacles to Interoperability [§ 236.1011(a)(3)(iii)]

This section shall identify all obstacles to interoperability and the further steps that will be taken 

to overcome them. If full interoperability has not been met with one or more tenant railroads, a 

description of the degree interoperability that has been obtained and how adverse consequences 

associated with the lack of interoperability have been mitigated. This requires identification of:

5 Interoperability [§ 236.1011(a)(3)]
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EXAMPLE January 7, 2010

a) The safety functions which are not implemented when interoperating on the host railroad.

b) The risks associated with not implementing the safety function (frequency and 

consequence).

c) The alternate means of performing the safety function not performed by PTC.

d) The reason that the alternate means is an adequate substitute for the function. 

Note: A full discussion of interoperability issues may not be possible by the railroad if an NPI is 

filed in lieu of a PTCDP. This PTCIP section must be updated accordingly and refiled with FRA 

for approval when the full PTCDP is filed.
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EXAMPLE January 7, 2010

This section shall describe how the PTC systems will be implemented to address areas of greater 

risk to the public and railroad employees before areas of lesser risk. This section must provide 

appropriate justification if areas of lesser risk are addressed first. This section is intended to:

a) Describe the rail network, and its subdivisions (or other pertinent territories).

b) Identify the significant risk factors on each subdivision (or other pertinent segment).

c) Prioritize the installation of PTC for each subdivision (or other pertinent segment) based 

on the levels of risk and consequences.

The risk analysis shall consider a number of factors, many of which will be specific to each 

subdivision (or other pertinent segment) when analyzing the consequences. Not all the criteria 

will be present on each route, and each route will have its own combination of factors to be 

considered. Each railroad is to tailor their analysis to the particular risks and factors of their 

operations. The risks and factors that must be considered include:

1. Annual MGT levels;

2. Presence and volume of passenger traffic; 

3. Presence and volume of PIH/TIH material (loads and residue) transported;

4. Presence and volume of other bulk hazardous materials, with emphasis on flammable 

compressed gas, explosives, and environmentally sensitive chemicals;

5. Method of Operation;

6. Presence or absence of underlying block signal, cab signal, train stop, or train control 

systems; 

7. Maximum authorized speeds of train operations;

8. Number of tracks;

9. Track grades and curvatures;

10. Presence of non-PTC equipped traffic along the route (shared track); 

11. Frequency and location of track turnouts (i.e., spurs and sidings); and

12. Past accident/incident statistics.

Characterizations of the risks and of changes in the nature or magnitude of risks shall be 

quantitative to the extent possible consistent with available data. The railroads shall identify 

which factors were deemed the most significant to their implementation. Statements of 

assumptions, their rationale, and their impact on the risk analysis should be explicit. The 

analysis should adopt consistent approaches to evaluating the risk.

6 Installation Risk Analysis [§ 236.1011(a)(4)]
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EXAMPLE January 7, 2010

Other route attributes bearing on risk that may be considered:

1. Presence or absence, and types, of wayside hazard detectors;

2. Number and types of at-grade crossings (both highway-rail and rail-to-rail);

3. Public venues along the route (high population density, stations, events, places of 

congregation, etc.);

4. Hazards to human health and the environment.

Characterizations of these types of risks and of changes in the nature or magnitude of risks shall 

be qualitative or quantitative to the extent possible consistent with available data. These risks 

shall not override the risk rankings determined by the required route attributes.

To the extent Rail Routing Rule model justifications are relied upon:

1. Assume overlay PTC implementation on the base year route, the present route, and the 

route selected (if different from the present route).

2. Explain the weight afforded to the method of operation if less than 40% of the total 

weighting with respect to safety factors.

3. Provide full details for the analysis.

4. Justifications must include information regarding residual traffic and risk (including 

other hazardous materials, passenger traffic of any kind, and train counts per day) 

expected on a line from which it is reported, or assumed, that PIH traffic has been 

eliminated.

5. To the extent local PIH traffic is assumed to disappear prospectively, explain and justify 

on what basis this assumption is made.

This section may also describe other factors the railroad considered when grouping subdivisions 

(or other pertinent territories) with similar risk levels to support the continuity of the PTC system 

implementation. Examples of other factors that may be considered are:

1. Commitments to federal, state, or local agencies;

2. Tenant implementation plans;

3. Capital and Program Maintenance plans;

4. Availability of labor resources to support wayside installations.

The risk analysis shall be maintained and updated as needed with results being forwarded to 

FRA until completion of deployment of the PTC system and until retirement of the PTC system.

Note: A full discussion of risk prioritization issues may not be possible by the railroad if an NPI 

is filed in lieu of a PTCDP. This PTCIP section must be updated accordingly and refiled with 

FRA for approval when the full PTCDP is filed.
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EXAMPLE January 7, 2010

This section shall define the sequence, planned schedule, and decision basis for line segments to 

be equipped, including the identified risk by line segment.

A proposed schedule for commencing revenue-service PTC operations by December 31, 2015, 

on all identified line segments shall be included. The schedule shall identify groups of line 

segments, the timeframe in which PTC operations for that group of line segments will 

commence, and other measurable supporting task completion dates that are relevant. The 

schedule may be supported by and/or integrated with the schedules for equipping rolling stock 

and wayside locations.

The risk for each line segment shall at a minimum address traffic characteristics (Section 7.1), 

operational characteristics (Section 7.2), and route attributes bearing on risk (Section 7.3).

7.1 Segment Traffic Characteristics [§ 236.1011(a)(5)(i)]

This section shall identify the segment traffic characteristics, such as typical annual passenger 

and freight train volume and volume of TIH shipments (loads and residue).

7.2 Segment Operational Characteristics [§ 236.1011(a)(5)(ii)]

This section shall describe the segment operational characteristics, such as current method of 

operation (including presence or absence of a block signal, cab signal, or train control system), 

number of tracks, and maximum allowable train speeds, including planned modifications. 

Planned modifications involve changes to the operating conditions on the railroad within the 

expected life-cycle of the PTC system.

7.3 Route Attributes [§ 236.1011(a)(5)(iii)]

This section shall identify the route attributes bearing on risk, such as extreme grades and 

curvature. Other factors to consider are:

• Number of switches;

• Number of rail-to-rail crossing-at-grade;

• Number of highway-rail grade crossings

• Number of movable bridges;

• Passenger stations;

• Presence of other equipped and non-equipped traffic along the route (shared track).

Note: A full discussion of scheduling issues may not be possible by the railroad if an NPI is filed 

in lieu of a PTCDP. This PTCIP section must be updated accordingly and refiled with FRA for 

approval when the full PTCDP is filed.

7 Deployment Sequence and Schedule [§ 236.1011(a)(5)]
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EXAMPLE January 7, 2010

This section shall contain information related to the rolling stock that will be equipped with the 

PTC technology.

8.1 Rolling Stock to be Equipped [§ 236.1011(a)(6)(i)]

This section shall identify what rolling stock will be equipped with PTC technology.

8.2 Schedule [§ 236.1011(a)(6)(ii)]

A proposed schedule for installation of PTC equipment on all identified rolling stock by 

December 31, 2015, shall be included. The schedule shall identify groups of equipment, the 

timeframe in which the installation is planned for that group, and other measurable supporting 

task completion dates that are relevant.

8.3 Tenant Railroads [§ 236.1011(a)(6)(iii)(A) and (B)]

The host railroad shall identify the actions taken to ensure tenant railroads will equip rolling 

stock with compatible PTC for operation on the host railroad’s PTC territories. This requirement 

shall contain information for all tenant railroads not filing their own PTCIP.

This section shall document the existence and status of all formal written requests made to each 

tenant railroad requesting identification of each rolling stock to be PTC system equipped and by 

what date each will be equipped. This section is to: (A) attest that the host railroad has made a 

formal written request to each tenant railroad requesting identification of each rolling stock to be 

PTC system equipped and the date each will be equipped; and (B) include each tenant railroad’s 

response to the host railroad’s written request made in accordance with paragraph (a)(6)(iii)(A).

Note: A full discussion of risk prioritization issues may not be possible by the railroad if an NPI 

is filed in lieu of a PTCDP. This PTCIP section must be updated accordingly and refiled with 

FRA for approval when the full PTCDP is filed.

8 Rolling Stock [§ 236.1011(a)(6)]
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EXAMPLE January 7, 2010

This section shall identify wayside devices or subsystems which must be installed for the PTC 

system. The listing of devices shall include, as a minimum:

a. The types of wayside devices to be installed and types of locations at which they will be 

installed (e.g., at various switches).

b. The number of wayside devices required for each line segment.

A proposed schedule for installation of all identified PTC wayside devices by December 31, 

2015, shall be included. The schedule shall identify groups of equipment, the timeframe in 

which the installation is planned for that group, and other measurable supporting task completion 

dates that are relevant.

Note: A full discussion of scheduling issues may not be possible by the railroad if an NPI is filed 

in lieu of a PTCDP. This PTCIP section must be updated accordingly and refiled with FRA for 

approval when the full PTCDP is filed.

9 Wayside Devices [§ 236.1011(a)(7)]
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EXAMPLE January 7, 2010

This section shall provide which track segments the railroad identifies as main line and non-main 

line track. If the PTCIP includes a Main Line Track Exclusion Addendum (MTEA), as defined 

by § 236.1019, the PTCIP shall identify the tracks included in the MTEA as main line track, with 

a reference to the MTEA.

10 Designating Track as Main Line or Non-Main Line [§ 236.1011(a)(8)] 
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EXAMPLE January 7, 2010

This section shall identify and describe the railroad’s basis for determining that the risk-based 

prioritization in § 236.1011(a)(4) is not practical as it may be associated with any line segment 

on their system.

Note: A full discussion of risk prioritization issues may not be possible by the railroad if an NPI 

is filed in lieu of a PTCDP. This PTCIP section must be updated accordingly and refiled with 

FRA for approval when the full PTCDP is filed.

11 Exceptions to Risk-Based Prioritization [§ 236.1011(a)(9)]
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EXAMPLE January 7, 2010

This section shall contain the railroad’s strategy, required for Class I railroads and as an option 

for others, for full system-wide deployment of PTC systems beyond those line segments required 

to be equipped under 49 CFR part 236, subpart I, including the criteria that will be applied in 

identifying those additional lines. Such criteria is to include consideration of the policies 

established by 49 U.S.C. § 20156 (railroad safety risk reduction program), and regulations issued 

there under, as well as non-safety business benefits that may accrue. This strategy may be 

subsequently revised through an RFA filing in accordance with § 236.1021.

Note: At the time of completion of this PTCIP template, the Subpart I regulation had not yet 

been finalized. The issue of documenting a railroad’s plans for full system-wide deployment 

was still an open item and depending on the final rule, may or may not be required as part of the 

PTCIP filing.

Note: A full discussion of full deployment strategies may not be possible by the railroad if an 

NPI is filed in lieu of a PTCDP. This PTCIP section must be updated accordingly and refiled 

with FRA for approval when the full PTCDP is filed.

12 Strategy For Full PTC System Deployment [§ 236.1011(b)] 
19

EXAMPLE January 7, 2010

This section shall contain any Main Line Track Exclusion Addendum (MTEA), which the 

railroad shall use to designate track as not main line as defined by § 236.1019.

Note: Filings may be marked SSI or Proprietary to the extent warranted, however only such

portions of filed documents as warrant such treatment.

13 Main Line Track Exclusion Addendum [§ 236.1019] 
20

EXAMPLE January 7, 2010

Appendices may be included, either directly or by reference, to provide supporting details that 

could aid in the understanding of the PTCIP.

Potential Appendices may include:

1. Model or software tool description for PTC deployment risk ranking.

2. Maps of territories to aid in understanding the railroad’s Implementation Plan.

3. Extracts from interoperability agreements with other railroads, as discussed in the PTCIP 

text.

4. Project Schedule or Network Diagram.

14 Appendices